Chief Compliance Officer, Chief Operations Officer
As Chief Compliance Officer and Chief Operating Officer, Joe is responsible for overseeing the day-to-day initiatives of the service and compliance teams at Founders and works tirelessly to protect, defend, and serve the Member Partner Firms of Founders. Along with his team, Joe interprets and upholds compliance regulations, conducts Member Partner Firm audits and reviews, and is the point of contact for all SEC interactions.
Joe’s focus on service, consistency, and excellence has developed over the course of his twenty-year industry tenure. Prior to Founders, Joe held senior level compliance positions at Legg Mason and T. Rowe Price.
When Joe is not at the office, he enjoys cheering on his son and daughter sports teams, knocking out a few miles on his rowing machine, and has a fine appreciation for small-batch Kentucky bourbons.
Joe holds a B.A. in both Economics and Business Administration from McDaniel College and holds the Series 7,9,10, 24, 53, 63, and 65 licenses.Icon arrow BACK TO YOUR TEAM